KB
Kenneth W. Bane
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Knoxville, TN
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CRD#: 4476332
KB
Professional summary
Kenneth Wayne Bane, CFP® is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Knoxville, Tennessee.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kenneth has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) SELF - RENTAL PROPERTY POSITION: Passive Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/07/2013 ADDRESS: 8905 Colchester Ridge Road, Knoxville TN 37922 DESCRIPTION: Family rental property. I am a passive owner (2) HOUSE RENTAL POSITION: Owner / landlord NATURE: House rental INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2023 ADDRESS: 8928 S Northshore Drive, Knoxville TN 37922, United States DESCRIPTION: landlord
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Wayne Bane's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Wayne Bane's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 11, 2013 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 800 Gay Street South Ste 700, Offices 702 703, 704, 705, 716, 718, Knoxville, TN, 37929RIA
BD
CRD#: 20472
Knoxville, TN
Current
March 8, 2013 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 800 Gay Street South Ste 700, Offices 702 703, 704, 705, 716, 718, Knoxville, TN, 37929RIA
BD
CRD#: 20472
KNOXVILLE, TN
Past
June 25, 2012 - February 5, 2013
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
KNOXVILLE, TN
Past
June 25, 2012 - February 5, 2013
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
KNOXVILLE, TN
Past
January 4, 2011 - June 27, 2012
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
KNOXVILLE, TN
Past
November 22, 2010 - June 26, 2012
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
KNOXVILLE, TN
Past
September 11, 2009 - November 4, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
KNOXVILLE, TN
Past
June 13, 2005 - November 4, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
KNOXVILLE, TN
Past
May 31, 2005 - November 4, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
KNOXVILLE, TN
Past
October 22, 2004 - June 8, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
KNOXVILLE, TN
Past
October 13, 2004 - June 8, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 13, 2003 - July 9, 2004
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
July 28, 2003 - September 4, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
June 5, 2002 - January 7, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
December 21, 2001 - May 14, 2002
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/10/2013)
RR
District of Columbia(1/12/2016)
RR
Florida(1/12/2016)
RR
Georgia(1/12/2016)
RR
Kentucky(1/12/2016)
RR
Maryland(1/12/2016)
RR
Mississippi(1/12/2016)
RR
North Carolina(1/13/2016)
RR
South Carolina(1/12/2016)
RR
Tennessee(3/11/2013)
IAR
Tennessee(3/11/2013)
RR
Virginia(2/13/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
730 Third Avenue, New York, NY 10017-3206
Mailing Address
8500 Andrew Carnegie Boulevard Mail Stop Ssc/c2/08, Charlotte, NC 28262-8500
Phone number
(704) 988-3565
Established
Delaware since 01/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,319
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SOLE OWNER OF APPLICANT | |
| ABBOTT, ROSS HAMLET | PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER | 2756063 |
| BARNHILL, HELEN GWYN | CHIEF LEGAL OFFICER | 2574877 |
| BELLUCCI, RAYMOND JOHN | ELECTED MANAGER | 1807977 |
| HEASLIP, DEREK JAMES | ELECTED MANAGER | 6318596 |
| INTIHAR, JEREMY ROSS | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 5040823 |
| LEWIS, BENJAMIN HERBERT | ELECTED MANAGER | 1687894 |
| MANGANO, JENNIFER LYNN | CHIEF FINANCIAL OFFICER | 7659359 |
| MUKHERJEE, NILADRI | ELECTED MANAGER | 5227234 |
| SARAVANAN, SHANKAR | VICE PRESIDENT, ELECTED MANAGER | 7789140 |
| STICKROD, CHRISTOPHER EUGENE | ELECTED MANAGER | 4627958 |
| WEINSTEIN, SCOTT WILLIAM | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 4324014 |
Regulatory assets under management
| Total Number of Accounts | 72,807 |
| AUM (Assets Under Management) | $ 34,343,329,152 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/13/2023 | ||
| 03/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
